Assistant Vice President, Regulatory Processes in London

Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 150,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

With a vision to be the world’s most trusted financial group, it’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career. Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.

MUFG is seeking an Assistant Vice President Regulatory Processes to join their Core Compliance team in London. This is a unique opportunity to play a pivotal role in the management and coordination of regulatory compliance processes that span across teams and geographies, supporting both MUFG Bank and MUFG Securities EMEA plc. You will be at the heart of ensuring regulatory requirements are met efficiently, while contributing to continuous improvement initiatives and collaborating with colleagues across the UK, EMEA, and globally.

MUFG offers a supportive and inclusive workplace where your expertise will be valued, and you will have access to ongoing training opportunities to further develop your skills. If you are looking for a role that combines responsibility, teamwork, and the chance to make a meaningful impact within a global financial institution, this position is ideal for you.

Join a globally respected financial institution with a strong commitment to compliance excellence and collaborative working practices, where your contributions will directly support both MUFG Bank and MUFG Securities EMEA plc. Enjoy an inclusive environment with supportive leadership, where you will work closely with colleagues across multiple departments and regions, fostering inter-personal connections and sharing knowledge. Benefit from comprehensive training opportunities and professional development programmes designed to enhance your regulatory expertise and help you grow within the organisation.

What you'll do:

As Assistant Vice President Regulatory Processes at MUFG in London, you will be entrusted with overseeing key compliance functions that underpin the integrity of both MUFG Bank LTD and MUFG Securities EMEA Plc. Your day-to-day activities will involve managing complex regulatory licensing regimes across UK and US jurisdictions, ensuring accurate certification of staff under various frameworks. You will coordinate annual fitness assessments for senior managers and certified personnel, working closely with HR and Compliance teams to guarantee timely execution. The role also includes submitting regulatory returns within strict deadlines by gathering information from multiple departments. You will play an integral part in developing compliance training plans for EMEA offices, monitoring completion rates, preparing waiver applications, maintaining logs of exemptions, managing offshore licences, and supporting management information production. Your ability to identify process improvements will be crucial as you contribute to continuous enhancement initiatives within the Regulatory Processes Team. Success in this role requires meticulous attention to detail, effective collaboration across teams, proactive communication with regulators, and a commitment to upholding high standards of compliance throughout all responsibilities.

• Take responsibility for administering the UK Certification Regime by ensuring staff are appropriately certified in line with regulatory requirements.
• Manage the designation and registration of staff under US Swap Associated Persons regime and 15-a6 regime, maintaining compliance with US SEC and CFTC standards.
• Ensure NFA Principals are registered accurately according to US regulatory guidelines, updating records as needed.
• Update the FCA Directory within required regulatory timescales, running reconciliation processes across all licensing regimes to maintain accuracy.
• Act as subject matter expert on regulation and its application to both MUFG Bank LTD and MUFG Securities EMEA Plc, identifying areas for improvement in individual licensing processes.
• Plan, scope, execute, track, and complete the Annual Fitness & Propriety exercise for Senior Managers and Certified staff, including recertification steps and certificate reissuance.
• Collaborate with HR and Compliance teams in the UK and abroad to ensure timely completion of Fitness & Propriety processes for Conduct staff.
• Support timely submission of periodic and ad-hoc regulatory returns by liaising internally with other departments to gather necessary information.
• Assist in developing, approving, and rolling out the annual EMEA-wide Core Compliance training needs assessment and associated training plan across all offices.
• Prepare waiver/exemption application forms when required, maintain logs of open waivers/exemptions, monitor existing waivers for extension needs, and manage offshore licence payments.

What you bring:

In this Assistant Vice President Regulatory Processes role at MUFG London, your proven experience in managing intricate compliance procedures will be invaluable. You bring deep familiarity with UK SMCR requirements alongside practical exposure to US Swap AP regulations—enabling you to navigate dual jurisdictional demands seamlessly. Your background includes working within collaborative teams focused on achieving shared goals under tight deadlines. You possess advanced technical skills in Microsoft Office applications which support your meticulous approach to documentation. Your interpersonal abilities foster positive relationships across departments as you coordinate training rollouts or gather data for regulatory returns. You demonstrate empathy when communicating complex requirements internally or externally. Your understanding of MI production ensures governance forums receive accurate insights into compliance status. Experience conducting risk assessments equips you to contribute meaningfully during semi-annual reviews. Above all, your commitment to continuous improvement drives enhancements that benefit both local operations and broader organisational objectives.

• Demonstrated knowledge of the Senior Manager & Certification Regime (SMCR) is essential for ensuring compliance with UK regulations.
• Proven ability to manage complex processes involving multiple high-priority items simultaneously while maintaining accuracy.
• Experience identifying inefficiencies within compliance operations and implementing constructive improvements collaboratively.
• Background working in task-oriented teams committed to meeting multiple deadlines through dependable teamwork.
• Exceptional attention to detail supported by proficiency in Excel, Word, PowerPoint for documentation and reporting purposes.
• Strong interpersonal skills enabling you to work collaboratively in a supportive environment with colleagues across departments.
• Familiarity with US Swap AP (CFTC/SEC) regulatory requirements is desirable for cross-jurisdictional compliance management.
• Understanding of management information (MI) creation processes enhances your ability to produce accurate reports for governance forums.
• Knowledge of compliance risk assessment methodologies supports your contribution to semi-annual risk evaluations across EMEA offices.
• Excellent communication skills combined with empathy allow you to liaise effectively internally and externally during regulatory filings.

What sets MUFG apart:

MUFG stands out as one of the world’s leading financial institutions renowned for its unwavering commitment to integrity, transparency, and responsible business practices. With a rich heritage rooted in trustworthiness and dependability, MUFG fosters an inclusive culture where every team member’s contributions are valued. The organisation prioritises professional growth through extensive training opportunities tailored specifically for compliance professionals—ensuring you remain knowledgeable about evolving regulations while advancing your career. Supportive leadership encourages collaboration between departments so you can share ideas freely while benefiting from communal expertise. Working at MUFG means joining a network dedicated not only to operational excellence but also nurturing talent through generous development programmes. The company’s focus on creating a pleasant workplace environment extends beyond policies; it is reflected daily through considerate interactions among colleagues who value empathy as much as expertise. As part of MUFG’s London office—serving both bank and securities entities—you’ll enjoy being part of a global community that champions flexibility alongside rigorous standards of compliance.

What's next:

If you are ready to take on a rewarding challenge within a globally respected organisation where your skills will make a real difference—apply now! Apply today by clicking on the link provided. We are open to considering flexible working requests in line with organisational requirements.

MUFG is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership. We make our recruitment decisions in a non-discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the law.